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Frequently Asked Questions

The Advanced Research Projects Agency-Energy (ARPA-E) advances high-potential, high-impact energy technologies that are too early for private-sector investment. ARPA-E projects have the potential to radically improve U.S. economic security, national security, and environmental well-being. ARPA-E empowers America’s energy researchers with funding, technical assistance, and market readiness.

What types of projects does ARPA-E fund?

ARPA-E focuses on energy challenges that could radically improve U.S. economic prosperity, national security, and environmental well being. We invest in short-term research projects that can have transformational impacts. ARPA-E does not fund basic or incremental research.

When was ARPA-E created?

The America COMPETES Act of 2007 authorized the establishment of ARPA-E within the U.S. Department of Energy. However, ARPA-E did not officially come into existence until early 2009, when it received $400 million in funding through the American Recovery and Reinvestment Act.

What is ARPA-E's annual budget?

ARPA-E was appropriated $275 million for Fiscal Year (FY) 2012 (October 1, 2011 through September 30, 2012). For more information on ARPA-E’s budget, please click review our annual budget page

What is the Energy Innovation Summit?

The ARPA-E Energy Innovation Summit is an annual conference that brings together thought leaders from academia, business, and government to discuss cutting-edge energy issues and facilitate relationships to help move technologies into the marketplace. Summit topics range from high-level overviews to focused discussions centered on developing and deploying the next generation of energy technologies. In addition, the Technology Showcase is a major attraction of the Summit and includes several hundred carefully selected transformational technologies—many of which are demonstrated publicly for the first time during the Summit. Click here for more information on the Summit.

How can I apply for a job, fellow position, or internship at ARPA-E?

Information on ARPA-E job opportunities and application instructions can be found on the Job Opportunities section of ARPA-E's website.

Eligibility requirements may vary from FOA to FOA. Potential applicants should refer to the FOA to which they are applying for specific eligibility requirements.

How can I make sure I hear about future Funding Opportunity Announcements as soon as they are announced?

The best way to stay up-to-date on the latest Funding Opportunities is by signing up for ARPA-E’s newsletter. In addition to receiving monthly ARPA-E updates, you will receive emails whenever new Funding Opportunities are announced.

How can I learn more about the projects that ARPA-E is currently funding?

For information on the projects that ARPA-E is currently funding, please visit our Projects Page.

How long does ARPA-E support each project?

ARPA-E provides financial assistance for periods ranging from one to three years. These short funding periods are intended to focus efforts on making laboratory work “market ready.”

How many projects is ARPA-E currently funding?

As of August 2013, ARPA-E is funding 285 projects.

How much financial assistance does ARPA-E provide to each project?

Award amounts vary by the scope of the project, the period of performance, and the nature of the work. Each FOA provides an estimate of the range of award amounts likely to result under that FOA. In the past, most award amounts vary between $250,000 and $10 million in financial assistance.

What happens to projects after they’re done receiving ARPA-E funding?

Many ARPA-E awardees receive follow-on funding from a diverse group of organizations, including private investors, government agencies, and other organizations. To date, at least five ARPA-E projects have generated spin-off companies or successful Initial Public Offerings (IPOs). Eleven ARPA-E projects that received $39 million in funding went on to garner at least $200 million of private sector funding (publicly announced to date). ARPA-E grant recipients have also applied for at least 34 patents and submitted at least 48 technical papers.

Does ARPA-E have substantial involvement in its projects?

Yes. Congress directed ARPA-E to “establish and monitor project milestones, initiate research projects quickly, and just as quickly terminate or restructure projects if such milestones are not achieved.” Accordingly, ARPA-E has substantial involvement in the management and direction of every project. A Statement of Substantial Involvement is included in ARPA-E's Funding Opportunity Announcements.

If I have questions regarding an ARPA-E Funding Opportunity Announcement, who do I contact?

Please see the FOA guidance on submitting FOA content questions and response publication. Applicants may submit questions regarding this ARPA-E’s Funding Opportunity Announcement (FOA) to ARPA-E-CO@hq.doe.gov. All emails must include the FOA name and number in the subject line. The cover page and Executive Summary of the Funding Opportunity Announcement state the deadlines for submitting questions to ARPA-E-CO@hq.doe.gov.

How will I receive a response to questions submitted to ARPA-E-CO@hq.doe.gov?

ARPA-E will post responses on a weekly basis to questions that are received. ARPA-E will cease to accept questions approximately 5 business days in advance of each submission deadline. Responses to questions received before the cutoff will be posted approximately one business day in advance of the submission deadline. ARPA-E may re-phrase questions or consolidate similar questions for administrative purposes.

Will ARPA-E post a response to every question submitted to ARPA-E-CO@hq.doe.gov?

No. ARPA-E will only post responses to questions that have not already been addressed by a published FAQ. Also, ARPA-E may consolidate similar questions for administrative purposes.

Can I speak or meet with the ARPA-E Program Director or other ARPA-E personnel about a Funding Opportunity Announcement?

No. Upon the issuance of this Funding Opportunity Announcement (FOA), ARPA-E Program Directors and other ARPA-E personnel are prohibited from responding (in writing or otherwise) to inquiries from Applicants, or potential Applicants, regarding the FOA. This “quiet period” remains in effect until ARPA-E’s public announcement of its project selections. During the “quiet period,” Applicants may submit questions regarding the FOA to ARPA-E-CO@hq.doe.gov with the FOA name and number in the subject line. Applicants may also submit questions regarding ARPA-E's online application portal, ARPA-E eXCHANGE, to ExchangeHelp@hq.doe.gov with the FOA name and number in the subject line. ARPA-E will not accept or respond to communications received by other means (e.g., fax, telephone, mail, hand delivery). Emails sent to other email addresses will be disregarded.

How will I receive a response to questions submitted to ExchangeHelp@hq.doe.gov?

No. Following the issuance of the Funding Opportunity Announcement, Applicants must submit questions to ARPA-E by email. Applicants may submit questions regarding the FOA to ARPA-E-CO@hq.doe.gov with the FOA name and number in the subject line. Applicants may also submit questions regarding ARPA-E's online application portal, ARPA-E eXCHANGE, to ExchangeHelp@hq.doe.gov with the FOA name and number in the subject line. ARPA-E will not accept or respond to communications received by other means (e.g., fax, telephone, mail, hand delivery). Emails sent to other email addresses will be disregarded.

What is the deadline for submitting questions to ARPA-E-CO@hq.doe.gov?

The cover page and Executive Summary of the Funding Opportunity Announcement state the deadlines for submitting questions to ARPA-E-CO@hq.doe.gov. Every Friday, ARPA-E will post responses to any questions that were received by Wednesday at 12 p.m. ET (questions received after Wednesday at 12 p.m. ET will be answered the following week). ARPA-E will cease to accept questions 72 hours in advance of the applicable submission deadline.

Are there any circumstances under which an Applicant that meets the eligibility requirements for applying for award may be deemed ineligible to receive an award?

Yes, the eligibility requirements defined in a FOA are the requirements to be eligible to apply to a FOA . But, prior to receiving an award, the Contracting Officer also must determine whether the Applicant is determined to be responsible and qualified and therefore eligible to receive an award. For example, the ARPA-E Contracting Officer may not allow an Applicant to receive an award if the Applicant has a conviction of fraud or criminal felonies, has been debarred, suspended from receiving Federal contracts or financial assistance, or is insolvent or at risk of becoming insolvent.

I currently work for a National Lab and will be starting in a new position at a University. Am I eligible to submit a Concept Paper and/or a Full Application as the PI for the University while I’m still employed by the National Lab and not yet employed by the University?

A PI must have authorization from the entity that is submitting the concept paper and/or the full application to act in that role on behalf of that entity. If a proposed PI is employed by one entity at the time of Concept Paper and/or Full Application submission but will be employed by another entity once the award is made, then the proposed PI must have prior authorization from both the current employer and prospective employer. A conflict-of-interest mitigation plan must be submitted in order to address any potential conflict of interest. In addition, the entity that applied for the award will be the entity that receives the award, if selected for negotiations that result in award.

Can a person be PI on one proposal and a co-PI on a second separate proposal?

Yes, an individual may be on more than one submission – either as a lead or member of a Project Team.

What types of funding agreements does ARPA-E use for its awards?

ARPA-E primarily uses Cooperative Agreements and Technology Investment Agreements to provide financial assistance. However, some types of applicants require alternative funding vehicles. Work Authorizations are issued to DOE/NNSA Federally Funded Research and Development Centers (FFRDCs) through the DOE/NNSA Field Work Application system for work performed under DOE Management & Operation Contracts. Interagency Agreements are used for work performed by Non-DOE/NNSA FFRDCs and U.S. Government-Owned Government-Operated laboratories (GOGOs). Additionally, ARPA-E has the authority to utilize grants, contracts, and “other transactions,” but rarely exercises this authority.

Like Grants, Cooperative Agreements involve the provision of financial or other support to accomplish a public purpose of support or stimulation authorized by Federal statute. However, Cooperative Agreements differ from Grants in terms of agency involvement, supervision, and intervention in the project. Grants restrict Government involvement to the minimum necessary to achieve program objectives. Under Cooperative Agreements, the Government is “substantially involved” with the Prime Recipient’s management, control, direction, and performance of projects.

What is an “other transactions” agreement or Technology Investment Agreement?

ARPA-E may use its “other transactions authority” under the America COMPETES Reauthorization Act of 2010 to enter into “other transactions” agreements with Prime Recipients. Alternatively, ARPA-E may use DOE’s “other transactions authority” under the Energy Policy Act of 2005 to enter into Technology Investment Agreements with Prime Recipients. Through an “other transactions” agreement or Technology Investment Agreement, ARPA-E may modify standard Government terms and conditions, including but not limited to accounting provisions or intellectual property provisions.

How does ARPA-E manage projects led by FFRDCs or non-DOE/NNSA GOGOs?

When a Federally Funded Research and Development Center (FFRDC) or non-DOE/NNSA Government-Owned Government-Operated laboratory (GOGO) is the lead organization for a Project Team, ARPA-E executes a funding agreement directly with the FFRDC or non-DOE/NNSA GOGO and a single, separate Cooperative Agreement with the rest of the Project Team. Notwithstanding the use of multiple agreements, the FFRDC or non-DOE/NNSA GOGO is the lead organization for the entire project, including all work performed by the FFRDC or non-DOE/NNSA GOGO and the rest of the Project Team.

How does ARPA-E manage projects where a FFRDC or non-DOE/NNSA GOGO is a member of the Project Team?

When a Federally Funded Research and Development Center (FFRDC) or non-DOE/NNSA Government-Owned Government-Operated laboratory (GOGO) is a member of a Project Team, ARPA-E executes a funding agreement directly with the FFRDC or non-DOE/NNSA GOGO and a single, separate Cooperative Agreement with the rest of the Project Team. Notwithstanding the use of multiple agreements, the Prime Recipient under the Cooperative Agreement is the lead organization for the entire project, including all work performed by the FFRDC or non-DOE/NNSA GOGO and the rest of the Project Team.

ARPA-E may negotiate a TIA or “other transactions” agreement in order to encourage for-profit entities to participate in projects in which they would not otherwise participate, to facilitate the creation of new relationships among participants in a team that will foster better technology, to encourage Prime Recipients to use new business practices that will foster better technology or new technology more quickly or less expensively, or to enhance U.S. economic and energy security and/or maintain U.S. technological leadership in key energy sectors.

How do Applicants request an “other transactions” agreement or Technology Investment Agreement?

If Applicants are seeking to negotiate an “other transactions” agreement or Technology Investment Agreement, they are required to include an explicit request in the Business Assurances Form submitted as part of their Full Applications. Please refer to the Funding Opportunity Announcement for guidance on the content and form of the request.

How do I submit my application to ARPA-E?

Applicants are required to submit their applications to ARPA-E through the Agency’s online application portal, ARPA-E eXCHANGE. Submissions received through other means are deemed noncompliant and are not reviewed or considered.

Applicants may submit questions regarding ARPA-E’s online application portal, ARPA-E eXCHANGE, to ExchangeHelp@hq.doe.gov. All emails must include the name and number of the Funding Opportunity Announcement in the subject line.

How will I receive a response to questions submitted to ExchangeHelp@hq.doe.gov?

All Applicants are first required to submit a Concept Paper. ARPA-E reviews the Concept Paper and provides early feedback on whether the idea is likely to form the basis of a successful full application.

Where can I find the requirements for the content and form of Concept Papers?

Yes, but each Concept Paper must be “scientifically distinct”. This term is used in Section III.C.3 (Limitation on Number of Applications) of the FOA. In this context, the term “scientifically distinct” is used to emphasize that, in the event an Applicant intends to submit multiple concept papers/application, the applicant should propose distinct technical approaches in each application. This prohibition on duplicative applications involves a fact-based determination by ARPA-E to ensure a focused review of each technical concept, and appropriate use of ARPA-E's limited time/resources.

Generally, ARPA-E performs a preliminary review of Concept Papers to determine whether (1) the Applicant meets the eligibility requirements in the Funding Opportunity Announcement (FOA); (2) the Concept Paper conforms to the content and form requirements in the FOA; and (3) the Concept Paper was timely submitted via ARPA-E eXCHANGE by the applicable deadline. The specific FOA may have additional or other compliance requirements for Concept Papers. Concept Papers that meet these requirements are deemed compliant.

How does ARPA-E determine if a Concept Paper is responsive?

ARPA-E performs a preliminary technical review of Concept Papers to determine whether the proposed project falls within the technical parameters described in the Funding Opportunity Announcement (FOA). Any Concept Papers that focus on “Areas Specifically Not of Interest” described in the FOA are rejected as nonresponsive and are not reviewed or considered. Other submissions that do not fall within the technical parameters described in the FOA are also rejected as nonresponsive and are not reviewed or considered.

How are Concept Papers Evaluated?

Concept Papers are primarily evaluated by Evaluation Criteria specific to a given Funding Opportunity Announcement (FOA). As these criteria may vary by FOA, Applicants should always refer to the FOA to which they are applying for the relevant evaluation criteria. ARPA-E may also use Program Policy Factors, which are broad policy considerations determined by agency needs and priorities. FOA documentation can be found at https://arpa-e-foa.energy.gov/Default.aspx.

Who evaluates my submissions?

By submitting an application to ARPA-E, Applicants consent to ARPA-E’s use of Federal employees, contractors, and experts from educational institutions, nonprofits, industry, and governmental and intergovernmental entities as Reviewers. ARPA-E selects Reviewers based on their knowledge and understanding of the relevant field and application, their experience and skills, and their ability to provide constructive feedback on applications.

How am I notified if my Concept Paper is rejected as noncompliant or nonresponsive?

For noncompliant and nonresponsive Concept Papers, the ARPA-E Contracting Officer sends a notification letter by email to the technical and administrative points of contact designated by the Applicant in ARPA-E eXCHANGE. The notification letter states the basis upon which the Concept Paper was rejected.

How am I notified if ARPA-E decides to encourage or discourage the submission of a Full Application?

Applicants are promptly notified of ARPA-E’s determination to encourage or discourage the submission of a Full Application. ARPA-E sends a notification letter by email to the technical and administrative points of contact designated by the Applicant in ARPA-E eXCHANGE. ARPA-E provides Applicants with feedback in the notification letter in order to guide the further development of the proposed technology. A notification letter encouraging the submission of a Full Application does not authorize the Applicant to commence performance of the project.

Can I respond to comments received on our Concept Paper?

No. ARPA-E provides Applicants with feedback on Concept Papers in order to guide the further development of the proposed technology.

Are there font size requirements for the Concept Paper?

Yes. A font size of 12 points or larger is required. A smaller font size may be used for figures and tables, including figure and table captions. The text for figures and tables should be legible without the assistance of a magnifying glass. Applicants may consider a font size of 9 points or larger to be appropriate.

The FOA specifies that the headers must include the application control number on the right. Is it Okay to include other information in the header (e.g. company logo, paper title)?

Yes.

May we include references or resumes as separate documents?

No. Resumes and references are subject to the maximum page limitations stated in the Funding Opportunity Announcement.

Your submission is deemed noncompliant and is not reviewed or considered.

How do I mark confidential, proprietary, and privileged information to prevent its public release?

Please refer to the “Marking of Confidential Information” section of the Funding Opportunity Announcement for guidance on marking requirements. Applicants should not include confidential, proprietary, or privileged information in their submissions unless such information is necessary to convey an understanding of the proposed project. Any submissions containing confidential, proprietary, or privileged information must be marked as described in the Funding Opportunity Announcement.

Can I submit a Full Application if I didn't submit a Concept Paper?

No. Only Applicants who submitted a compliant and responsive Concept Paper are eligible to submit a Full Application.

Can I submit a Full Application if ARPA-E rejected my Concept Paper as noncompliant or nonresponsive?

No. Only Applicants who submitted a compliant and responsive Concept Paper are eligible to submit a Full Application.

Can I submit a Full Application if ARPA-E discouraged me from submitting a Full Application?

Yes. Applicants who are discouraged during the Concept Paper phase may still submit a Full Application, which will be evaluated through a merit review process. The purpose of the Concept Paper phase is to save Applicants the time and expense of preparing a Full Application for technologies that are unlikely to be selected for award.

ARPA-E discouraged me from submitting a Full Application, but I intend to submit one any way. Will my Full Application be treated differently than those of Applicants who were encouraged to submit a Full Application?

No. All compliant and responsive Full Applications are evaluated through the same merit review process.

How many Applicants were encouraged to submit Full Applications?

ARPA-E does not track or disclose the precise number of Applicants who were encouraged to submit Full Applications for the pending Funding Opportunity Announcements. Typically, only one-third to one-half of Applicants are encouraged to submit Full Applications.

After carefully considering the reviewers' comments, we feel that it is best to re-scope our technical effort from an originally proposed "seedling" in the Concept Paper to a "Technology Development Project" in the Full Application, which will provide sufficient critical mass to achieve highly impactful and transformative results. Is such a change allowed by ARPA-E?

Yes. Applicants may expand or otherwise modify the projects described in their Concept Papers when they are preparing their Full Applications.

We would like to request more funding in the Full Application than we requested in the Concept Paper. May Applicants modify the requested amount of funding for their Full Applications?

Yes. Applicants may increase or decrease the requested amount of funding for their Full Applications.

If a FFRDC is a sub-tier partner, is a letter of authorization required?

Yes, a letter of authorization is required whether the FFRDC is the lead organization for the Project Team or a member of the Project Team. Applicants should refer to the Business Assurances Form they are required to submit as part of a complete Full Application.

In regard to letters of authorization for FFRDCs, usually authorization letters get addressed to the agency contact listed in the funding opportunity announcement (FOA), but there is no contact listed in this one or on FedConnect. To whom shall the letters of authorization for this FOA be addressed?

The letters of authorization should be addressed to the “ARPA-E Contracting Officer.”

Where can I find the requirements for the content and form of Full Applications?

No. ARPA-E only reviews and considers compliant and responsive Full Applications.

The FOA requires page numbers to be on each page of the full application. Since the NEPA compliance questionnaire is already numbered starting at 1, does that mean that each individual component should be numbered starting 1 as well?

No.

Do the items required as Excel files need to be numbered? If so, where should page numbers be placed? Do these items need to conform to the 8-1/2 x 11 inch page requirement?

The answer to both questions is no.

Will cover page, cover letter and table of contents count toward the maximum page limitation stated in the FOA?

Yes.

Are letters of support allowed? And where in the Full Application should they be included?

Yes, letters of support may be included with the Technical Volume of the Full Application. Please note the letters of support are subject to the maximum page limitations stated in the Funding Opportunity Announcement.

The downloaded Budget Justification Workbook has a significant amount of preloaded data. What is an Applicant supposed to do with that data?

Applicants should enter their budget information in the Budget Justification Workbook. The sample data is provided as guidance only. You are not required to delete the sample data.

We would like to submit an optional task within the proposal and budget, is this allowable and how should we identify it in the technical proposal and budget?

Optional tasks should be designated with a parenthetical at the beginning of the task – i.e., “(Optional Task).

Should the proposed budget (SF-424, SF-424A, Budget Justification Workbook) cover work performed only by the Prime Recipient, or should it also include work performed by Sub-recipients, contractors, and others?

The proposed budget (SF-424, SF-424A, Budget Justification Workbook) should cover the Total Project Cost, including work performed by the Prime Recipient, Sub-recipients, contractors, and others.

Should the SF-424A show years or should it be further divided into quarters?

The SF-424A should be broken down into years.

Is the SF-424A template to be used as the form/format for each tab?

Yes.

Are separate tabs required for each year or are all years reported in one separate tab per (2)?

A separate tab is required for each year.

Are Applicants without Federally approved indirect rates required to submit indirect rate proposals with their Full Applications?

No. Upon selection for award negotiations, Applicants without Federally approved rate agreements are required to submit an Indirect Rate Proposal, available at www.arpa-e.energy.gov/project-guidance.

Should reimbursable patent costs be included in the budget submitted with the Full Application?

Yes.

Should each sub have its own indirect rate? Should the prime contractor have its own rate? Should all entities determine what the effective or average rate would be? How does this work?

If reimbursement is requested for fringe benefits and indirect costs by the prime recipient, sub-recipients, etc., then each entity must propose this information in their budget in accordance with the instructions provided in the FOA. Please refer to ARPA-E Guidance for the Budget Justification Workbook template (see tab b for fringe benefits and tab i for indirect costs) and see the detailed guidance on completing the Budget Justification Workbook (see Steps 3 and 10). All entities are not required to determine what the effective or average rate would be.

Do we need to break the salary down into an hourly rate?

Yes.

Is it possible to request a Technology Investment Agreement or other transaction agreement based on a labor hour, or time and materials format, in lieu of cost reimbursement?

No.

How does ARPA-E determine if a Full Application is compliant?

ARPA-E performs a preliminary review of Full Applications to determine whether (1) the Applicant meets the eligibility and compliance requirements in the Funding Opportunity Announcement (FOA); (2) the Applicant meets the cost share requirements in the FOA; and (3) the Full Application conforms to the content and form requirements in the FOA; (4) the Full Application was timely submitted via ARPA-E eXCHANGE by the applicable deadline; and (5) the Applicant submitted a compliant and responsive Concept Paper. Full Applications that meet these requirements are deemed compliant.

How does ARPA-E determine if a Full Application is responsive?

ARPA-E performs a preliminary technical review of Full Applications to determine whether the proposed project falls within the technical parameters described in the Funding Opportunity Announcement (FOA). Any Full Applications that focus on “Areas Specifically Not of Interest” described in the FOA are rejected as nonresponsive and are not reviewed or considered. Other submissions that do not fall within the technical parameters described in the FOA are also rejected as nonresponsive and are not reviewed or considered.

How are Full Applications evaluated?

Full Applications are evaluated by Evaluation Criteria specific to a given Funding Opportunity Announcement (FOA). As these criteria may vary by FOA, Applicants should refer to the FOA to which they are applying for the relevant evaluation criteria. ARPA-E may also use Program Policy Factors, which are broad policy considerations determined by agency needs and priorities. FOA documentation can be found at https://arpa-e-foa.energy.gov/Default.aspx.

How am I notified if my Full Application is rejected as noncompliant or nonresponsive?

For noncompliant and nonresponsive Full Applications, the ARPA-E Contracting Officer sends a notification letter by email to the technical and administrative points of contact designated by the Applicant in ARPA-E eXCHANGE. The notification letter states the basis upon which the Full Application was rejected.

How am I notified if ARPA-E decides to select or not select a Full Application?

Applicants are promptly notified of the Selection Official’s determination. ARPA-E sends a notification letter by email to the technical and administrative points of contact designated by the Applicant in ARPA-E eXCHANGE. The notification letter may inform the Applicant that its Full Application was selected for award negotiations or not selected. Alternatively, Applicants may be notified that a final selection determination will be made at a later date, subject to the availability of funds or other factors. A notification letter selecting a Full Application for award negotiations does not authorize the Applicant to commence performance of the project.

Does ARPA-E provide feedback on Full Applications?

Yes. Applicants are provided reviewer comments from the Merit Review, in order to provide them with an opportunity to comment during a formal “Reply to Reviewer Comments” phase of the FOA.

One of our partners for the Concept Paper has dropped out of the proposed project. May we still submit a Full Application?

Yes. Applicants are free to modify the proposed Project Team for their Full Applications, either by adding or deleting team members.

Can Applicants add or remove Project Team members during the application process?

Applicants may add or remove Project Team members prior to the submission of the Full Application. Following submission of the Full Application, Project Team members should not be added or removed. Selection determinations will be based on the Project Team described in the Full Application. Upon the execution of a funding agreement, any addition or removal of a Project Team member must be approved in advance by the ARPA-E Contracting Officer.

One of my team members is participating in a separate application. I don’t have access to that application, so I can’t determine if it is scientifically distinct. What should I do?

Applicants are not expected to seek or obtain access to applications submitted by third parties. This limitation is primarily directed at applications submitted by the same person. Applicants may submit a Full Application if, to the best of their knowledge, it is scientifically distinct.

One or more of our proposal partners has overlapping proposed tasks with those of another proposal where they are also partners. The overlap/redundancies can be overcome through consolidating and leveraging proposals of both teams to a single proposal with an expanded scope from what was presented in the concept papers. Are there any particular restrictions on combining the proposed efforts from two different concept papers to a single proposal with an expanded scope?

Generally, whether an applicant is able to alter their proposal from the Concept Paper to the Full Application stage is left up to the requirements of a particular FOA. That said, ARPA-E typically allows applicants to modify the proposed project described in their Concept Papers. Be aware, however, that the Concept Paper phase is intended to provide applications with an indication whether they should dedicate resources to preparing a Full Application, and they may lose the benefit of the Concept Paper review if the scope or nature of the project changes from Concept Paper to Full Application.

May Applicants perform work overseas?

ARPA-E requires all work under ARPA-E funding agreements to be performed in the United States (i.e., Prime Recipients must expend 100% of the Total Project Cost in the United States). However, Applicants may request a waiver of this requirement where their project would materially benefit from, or otherwise requires, certain work to be performed overseas. Applicants must include an explicit waiver request in the Business Assurances Form required as part of their Full Applications. Please refer to the Funding Opportunity Announcement for guidance on the content and form of the waiver request.

May entities listed as members of a Project Team obtain copies of Full Applications submitted to ARPA-E by the lead organization?

No. Entities listed as members of a Project Team are required to contact the lead organization in order to obtain a copy of the application.

The Funding Opportunity Announcement requires the Project Team to submit a consolidated SF424A with budget information from the Prime Recipient and Sub-recipients. Some of the members of the Project Team are competitors and do not wish to share detailed cost data with their competitors. May members of our Project Team provide “total” cost data to the Prime Recipient, but submit detailed cost data in a separate SF424A directly to ARPA-E?

In the circumstances described above, “total” cost data should be provided to the Prime Recipient for incorporation into the consolidated SF424A and the Budget Justification Workbook, but detailed cost data may be provided in a separate SF424A and Budget Justification Workbook directly to ARPA-E via email to ARPA-E-CO@hq.doe.gov by the submission deadline stated in the FOA. Any files sent by email should be clearly marked with the application control number, name of the submitting entity, and the title of the application.

What is the submission deadline for Full Applications?

Applicants should refer to the cover page and Executive Summary of the Funding Opportunity Announcement to which they are applying for applicable submission deadlines.

What happens if I miss the submission deadline?

Your submission is deemed noncompliant and is not reviewed or considered.

Will ARPA-E grant an extension of the submission deadline?

No. ARPA-E appreciates the exigencies affecting every Project Team, but regrets that it is unable to grant extensions of submission deadlines.

If ARPA-E postpones a final selection determination, may the Applicant commence performance of the project?

No. A notification letter postponing a final selection determination until a later date does not authorize the Applicant to commence performance of the project.

If ARPA-E selects a Full Application for award negotiations, may the Applicant commence performance of the project?

No. A notification letter selecting a Full Application for award negotiations does not authorize the Applicant to commence performance of the project.

Will ARPA-E return my submission if I am not selected for award negotiations?

No. ARPA-E expects to retain copies of all Concept Papers, Full Applications, Replies to Reviewer Comments, and other submissions. No submissions will be returned. By applying to ARPA-E for funding, Applicants consent to ARPA-E’s retention of their submissions.

Does ARPA-E provide debriefings to unsuccessful Applicants?

No. ARPA-E does not offer or provide debriefings to unsuccessful Applicants. However, ARPA-E provides Applicants with feedback on compliant and responsive Concept Papers and Full Applications. Comments on Concept Papers are contained in notification letters sent to Applicants encouraging or discouraging the submission of a Full Application. Reviewer comments on Full Applications are made available before the submission deadline for Replies to Reviewer Comments.

What is a Reply to Reviewer Comments?

Written feedback on Full Applications is made available to Applicants before the submission deadline for Replies to Reviewer Comments. Applicants have a brief opportunity to prepare and submit a short response to this written feedback, or to provide additional information with which to supplement their Full Applications.

Where can I find the requirements for the content and form of Replies to Reviewer Comments?

Applicants should refer to the Funding Opportunity Announcement to which they are applying for guidance on the content and form of Replies to Reviewer Comments.

Do I have to submit a Reply to Reviewer Comments?

No. Applicants are not required to submit a Reply to Reviewer Comments. Submitting a Reply to Reviewer Comments is optional. Each compliant and responsive Full Application will be considered on the merits regardless of whether a Reply to Reviewer Comments is submitted.

What happens to my Full Application if my Reply to Reviewer Comments is rejected as noncompliant?

Compliant and responsive Full Applications are reviewed on the merits even if a Reply to Reviewer Comments is rejected as noncompliant.

Does ARPA-E require cost sharing or matching?

Yes.

Can you please confirm how the cost share requirement is calculated, is it off of total federal share or total budget including federal and recipient cost share?

Cost Share is calculated as a percentage of the Total Project Cost, which is the sum of the Prime Recipient share and the Federal Government share of total allowable costs. The Federal Government share generally includes costs incurred by FFRDCs and GOGOs.

What types of contributions may Applicants use to meet the cost share requirement?

All costs must be allowable under the applicable Federal cost principles to be counted towards meeting the cost share requirement. Project Teams may provide cost share in the form of cash or in-kind contributions. Cash contributions may be provided by the Prime Recipient and/or Subrecipients. Allowable in-kind contributions include, but are not limited to: (1) personnel costs; (2) indirect costs; (3) facilities and administrative costs; (4) rental value of buildings or equipment; and (5) the value of a service, other resource, or third-party in-kind contribution. In addition, project teams may use funding or property received from state or local governments to meet the cost share requirement, so long as the funding or property was not provided to the state or local government by the Federal Government.

What types of contributions cannot be used to meet the cost share requirement?

Project Teams may not use the following sources to meet their cost share obligations:

(1) Revenues or royalties from the prospective operation of an activity beyond the project’s period of performance;

(2) Proceeds from the prospective sale of an asset of an activity;

(3) Federal funding or property (e.g., funding provided under another Federal Grant, equipment or depreciation expenses associated with equipment that is owned in whole or in part by the Federal Government);

In addition, project teams may not use independent research and development (IR&D) funds to meet their cost share obligations under cooperative agreements. However, project teams may use IR&D funds to meet their cost share obligations under Technology Investment Agreements.

Project Teams may not use the same cash or in-kind contributions to meet cost share requirements for more than one project or program. Applicants may wish to refer to 10 C.F.R. parts 600 and 603 for additional guidance on cost sharing, specifically 10 C.F.R. §§ 600.30, 600.123, 600.224, 600.313, and 603.525-555.

May Federally Funded Research and Development Centers (FFRDCs) and Government-Owned Government-Operated laboratories (GOGOs) contribute cost share?

Because FFRDCs and GOGOs are funded by the Federal Government, costs incurred by FFRDCs and GOGOs generally may not used to meet the cost share requirement. FFRDCs may contribute cost share only if the contributions are paid directly from the contractor’s Management Fee or another non-Federal source.

If the funding agreement is terminated prior to the end of the project period, is the Prime Recipient legally responsible for the entire cost share amount?

If the funding agreement is terminated prior to the end of the project period, the Prime Recipient is required to pay at least the cost share percentage of total expenditures incurred through the date of termination.

Who is legally responsible for paying the cost share?

Although the cost share requirement applies to the Project Team as a whole, the funding agreement makes the Prime Recipient legally responsible for paying the entire cost share. The Prime Recipient’s cost share obligation is expressed in the funding agreement as a static amount in U.S. dollars (cost share amount) and as a percentage of the Total Project Cost (cost share percentage). The Prime Recipient is solely responsible for managing cost share contributions by the Project Team and enforcing cost share obligations assumed by Project Team members in sub-awards or related agreements.

How should the Project Team allocate the cost share amount among its members?

Each Project Team is free to determine how much each team member will contribute towards the cost share requirement. The amount contributed by individual Project Team members may vary, so long as the cost share requirement for the project as a whole is met.

Am I required to provide cost share commitment letters with my Concept Paper or Full Application?

No. Upon selection for award negotiations, the Prime Recipient is required to provide cost share commitment letters from Sub-recipients or third parties that are providing cost share, whether cash or in-kind. Each Sub-recipient or third party that is contributing cost share must provide a letter on appropriate letterhead that is signed by an authorized corporate representative. The letter must state, in unconditional and unequivocal terms, its commitment to provide cost share. The letter may not include any conditions for receipt of the cost share contributions. The letter must state the amount and form of cost share, the source and precise nature of the contribution, and the duration and timing of the commitment (e.g., two years beginning October 1, 2011).

How do I provide cost share?

All proposed cost share contributions must be reviewed and approved in advance by the ARPA-E Contracting Officer and incorporated into the project budget before the expenditures are incurred. ARPA-E requires Prime Recipients to pay the cost share amount incrementally over the life of the funding agreement. Specifically, every Prime Recipient is required to pay, at a minimum, the cost share percentage of total expenditures incurred during every billing period. For example, a Prime Recipient is required to pay at least 32% of the total expenditures incurred during every billing period if the funding agreement states that the cost share percentage is 32%. If Prime Recipients anticipate difficulty providing the requisite cost share every billing period, they may request authorization from ARPA-E to (1) pay the cost share percentage of total expenditures incurred every quarter (i.e., every three months), or (2) pay the cost share percentage of total expenditures incurred every half-year (i.e., every six months). Such requests must be sent by email to ARPA-E-CO@hq.doe.gov and include the following information: (1) a detailed justification for the request, (2) a proposed schedule of payments, including amounts and dates, (3) a written commitment to meet that schedule, and (4) such evidence as necessary to demonstrate that the Prime Recipient has complied with its cost share obligations to date. ARPA-E may revoke its authorization at any time for any reason. ARPA-E may deny reimbursement requests, in whole or in part, or modify or terminate funding agreements where Prime Recipients (or Project Teams) fail to comply with ARPA-E’s cost share payment requirements.

How do I show that I am complying with my cost share obligations?

All reimbursement requests must be accompanied by written documentation showing that the Prime Recipient (or Project Team, as appropriate) paid at least the cost share percentage of total expenditures incurred during the relevant billing period. If authorized by ARPA-E to provide the requisite cost share on a quarterly or biannual basis, Prime Recipients are required to submit the cost share report for the relevant quarter or half-year with the reimbursement request for that period. Such reports must be accompanied by written documentation showing that the Prime Recipient (or Project Team, as appropriate) paid at least the cost share percentage of total expenditures incurred during the relevant quarter or half-year. In terms of written documentation, Prime Recipients may provide ARPA-E with (1) summary documentation that presents an overview of expenditures incurred during the relevant billing period (e.g., printouts from internal financial software) or (2) detailed documentation of expenditures incurred during the relevant billing period, including but not limited to invoices on appropriate letterhead, time cards, equipment purchase requisitions, and travel vouchers. ARPA-E may deny reimbursement requests, in whole or in part, or modify or terminate funding agreements where Prime Recipients (or Project Teams) fails to comply with ARPA-E’s cost share reporting requirements.

What are ARPA-E's minimum cost share requirements?

By law, every Project Team is required to provide greater than or equal to 20% of the Total Project Cost as cost share. Under Technology Investment Agreements and “other transaction” agreements, Prime Recipients are required to provide greater than or equal to 50% of the Total Project Cost as cost share.

Has ARPA-E reduced its minimum cost share requirements for specific types of projects?

ARPA-E has offered reduced minimum cost share requirements for FOAs in the past. Whether projects under a particular FOA are eligible for reduced minimum cost share requirements varies from FOA to FOA. Applicants should refer to the “cost share” section of the FOA to which they are applying for accurate information regarding reduced minimum cost share.

Do the same cost share requirements apply to “proof of concept seedlings” and “advanced device prototyping” applications?

Yes.

When a FFRDC or non-DOE/NNSA GOGO is the lead organization for a Project Team, would the Total Project Cost include the lead organization costs and the other Project Team members’ costs?

Yes.

When do we need to submit the request to provide proof of cost sharing on a quarterly or semi-annual basis?

Upon selection for award negotiations, requests to report compliance with cost share obligations on a quarterly or semiannual basis may be submitted to the ARPA-E Contracting Officer at ARPA-E-CO@hq.doe.gov.

Must expenditures be allowable under applicable Federal cost principles?

Yes.

How do I request reimbursement for project expenditures?

To request reimbursement, Prime Recipients must submit:

1. An SF-270

2. A spreadsheet showing cumulative expenditures for the invoice period and cumulative expenditures to date (whether paid by ARPA-E or the Project Team) for the following SF-424A categories: Personnel (i.e., salaries and wages), Fringe Benefits, Travel, Equipment, Supplies, Contractual, Construction, Other, and Indirect Charges.

Upon request, Prime Recipients are required to provide additional information and documentation to support claimed expenditures.

May Applicants request reimbursement for pre-award costs?

ARPA-E will not reimburse any pre-award costs incurred by Applicants before they are selected for award negotiations. Upon selection for award negotiations, Applicants may incur pre-award costs at their own risk; selection for award negotiations is not a guarantee of award. ARPA-E generally does not accept budgets as submitted with the Full Application. Budgets are typically reworked during award negotiations. ARPA-E is under no obligation to reimburse pre-award costs if, for any reason, the Applicant does not receive an award or if the award is made for a lesser amount than the Applicant expected. Given the uncertainty of award negotiations, it is strongly recommended that Prime Recipients and Sub-recipients consult with the ARPA-E Contracting Officer before incurring any pre-award costs. However, Prime Recipients may submit reimbursement requests for insignificant costs (i.e., $20,000 or less in total aggregate costs) incurred up to 90 days before the effective date of the funding agreement. Prime Recipients are required to obtain written authorization from the ARPA-E Contracting Officer before submitting any reimbursement requests for (1) insignificant costs (i.e., $20,000 or less in total aggregate costs) incurred more than 90 days before the effective date of the funding agreement, or (2) significant costs (i.e., more than $20,000 in total aggregate costs) incurred before the effective date of the funding agreement.

May Applicants request reimbursement for patent costs?

ARPA-E will fully reimburse the following types of patent costs:

1. Cost of preparing and submitting invention disclosures to ARPA-E and the Department of Energy (DOE)

2. Cost of searching the art to the extent reasonable and necessary to make invention disclosures to ARPA-E and DOE, as required by Attachment 2 to the funding agreement

3. Cost of preparing the reports and other documents required by Attachment 2 to the funding agreement.

ARPA-E will reimburse up to $30,000 in expenditures incurred under the funding agreement for costs and fees relating to the filing and prosecution of U.S. patent applications on subject inventions disclosed to ARPA-E and DOE in accordance with Attachment 2 to the funding agreement. Prime Recipients may use costs and fees in excess of $30,000 to meet their cost share obligations under the funding agreement.

ARPA-E will not reimburse any costs and fees relating to the filing and prosecution of foreign patent applications on subject inventions disclosed to ARPA-E and DOE in accordance with Attachment 2 to the funding agreement. However, Prime Recipients may use such costs and fees to meet their cost share obligations.

May Applicants request reimbursement for construction costs?

ARPA-E generally does not fund projects that involve major construction. Prime Recipients are required to obtain written authorization from the ARPA-E Contracting Officer before incurring any major construction costs (i.e., construction costs in excess of $2,500).

May Applicants request reimbursement for foreign travel?

ARPA-E generally does not fund projects that involve major foreign travel. Prime Recipients are required to obtain written authorization from the ARPA-E Contracting Officer before incurring any major foreign travel costs (i.e., foreign travel costs in excess of $10,000 in any 12-month period). Prime Recipients are required to provide trip reports with their reimbursement requests.

May Applicants request reimbursement for the purchase of equipment?

Yes. All new equipment purchased under ARPA-E funding agreements must be made or manufactured in the United States, to the maximum extent practicable. This requirement does not apply to used or leased equipment. Project Teams may purchase foreign-made equipment where comparable domestic equipment is not reasonably available.

May Applicants request reimbursement for technology transfer and outreach activities?

Yes. By law, ARPA-E is required to spend at least 5% of its appropriated funds on Technology Transfer and Outreach (TT&O) activities. In order to meet this mandate, every Project Team must spend at least 5% of the Federal funding provided by ARPA-E on TT&O activities to promote and further the development and deployment of ARPA-E-funded technologies. All TT&O expenditures must be allowable under the applicable Federal cost principles.

May Applicants request reimbursement for lobbying expenditures?

No.

What wage rates should be used in the budget?

Generally, salaries should be in line with industry standards. However, “wage rates” for laborers and mechanics performing construction, alteration and repair work must comply with the requirements set forth in Davis-Bacon Act. Please contact us at ARPA-E-CO@hq.doe.gov if you have any questions relating to the requirements of the Davis-Bacon Act.

The FOA states that up to $30k of patent costs may be reimbursed for a project. Should these costs be built into the budget of the proposal, or should additional reimbursement be requested from ARPA-E after the costs are incurred?

All proposed patent costs up to $30,000 are required to be included in your budget for the Concept Paper and Full Application. Patent costs in excess of $30,000 may be applied to meet your cost share requirement.

How are no-cost members of the Project Team treated?

Even if Project Team members do not intend to request reimbursement from ARPA-E, they must be identified as a member of the Project Team.

Is a subcontractor considered to be a team member that should be listed separately in the budget and on the Team Members tab?

Sub-recipients should be listed separately in the Full Application budget documents (e.g., SF-424A, Budget Justification Spreadsheet). Subcontractors do not need to be listed separately in the Full Application budget documents.

Are there salary caps associated with ARPA-E awards?

ARPA-E will reimburse an individual's salary up to 200,000 dollars per year. Recipients may pay those same individuals above that amount with non-Federal funding. The non-Federal funding may not be contributed as cost share.

We have a team approach where the work will be shared among two institutions, a non-profit entity and a for-profit company. Is the Prime Recipient required to perform 50% of the total project effort?

No. Project Teams are free to determine the allocation of project work among team members.

Are Prime Recipients and Sub-recipients required to register with SAM?

Yes. Prime Recipients and Sub-recipients are required to register with the System for Award Management (SAM) at https://www.sam.gov/portal/public/SAM. ARPA-E cannot execute a funding agreement with a Prime Recipient until it is registered with SAM. Similarly, the Prime Recipient cannot execute a sub-award until the Sub-recipient is registered with SAM. Prime Recipients and Sub-recipients are required to keep their SAM and FSRS data current throughout the duration of the project. Applicants who have formerly registered in the Central Contractor Registry (CCR) must create a user account in SAM, but no new records will need to be created, as they will have been carried over.

Are Prime Recipients and Sub-recipients required to obtain a DUNS number?

Yes. Upon selection for award negotiations, Prime Recipients and Sub-recipients are required to obtain a Dun and Bradstreet Data Universal Numbering System (DUNS) number at http://fedgov.dnb.com/webform. ARPA-E cannot execute a funding agreement with a Prime Recipient until it has a DUNS number. Similarly, the Prime Recipient cannot execute a sub-award until the Sub-recipient has a DUNS number.

Are Prime Recipients required to register with FedConnect?

Yes. Prime Recipients are required to register with FedConnect in order to receive notification that their funding agreement has been executed by the ARPA-E Contracting Officer and to obtain a copy of the executed funding agreement. Please refer to https://www.fedconnect.net for registration instructions.

Are Prime Recipients required to register with FSRS?

Yes. By law, Prime Recipients are also required to register with the Federal Funding Accountability and Transparency Act Sub-award Reporting System (FSRS) at https://www.fsrs.gov/. Prime Recipients are required to report to FSRS the names and total compensation of each of the Prime Recipient’s five most highly compensated executives and the names and total compensation of each Sub-recipient’s five most highly compensated executives. Please refer to https://www.fsrs.gov/ for guidance on reporting requirements.

Are Prime Recipients and Sub-recipients required to comply with the National Policy Assurances?

Yes. Prime Recipients are required to submit a Technology-to-Market plan to the ARPA-E Program Director during award negotiations and submit updated versions of the plan every six months through the end of the project period.

Yes. ARPA-E requires every Project Team to negotiate and establish an Intellectual Property Management Plan for the management and disposition of intellectual property arising from the project. The Prime Recipient must submit a completed and signed Intellectual Property Management plan to ARPA-E within 6 weeks of the effective date of the ARPA-E funding agreement. ARPA-E has developed a template for Intellectual Property Management Plans (www.arpa-e.gov/www.arpa-e.energy.gov/project-guidance/award) so as to facilitate and expedite negotiations between Project Team members. ARPA-E does not mandate the use of this template. ARPA-E and DOE do not make any warranty (express or implied) or assume any liability or responsibility for the accuracy, completeness, or usefulness of the template. ARPA-E and DOE strongly encourage Project Teams to consult independent legal counsel before using the template.

Are Applicants required to disclose other sources of funding?

Yes. Applicants must submit this information in the “Other Sources of Funding” form that is required as part of a complete Full Application submission. The Other Sources of Funding form is available in the required documents section at https://arpa-e-foa.energy.gov/.

Are Applicants required to disclose potential conflicts of interest within the Project Team?

Yes. Project Teams are required to disclose in the Business Assurances Form portion of their Full Applications and throughout the duration of the project period any actual or apparent personal, organizational, financial, and other conflicts of interest within the Project Team.

Which lobbying activities are prohibited or require the filing of a SF-LLL?

Prime Recipients and Sub-recipients may not use any Federal funds to influence or attempt to influence, directly or indirectly, congressional action on any legislative or appropriation matters. See 18 U.S.C. § 1913.

What types of reports are Prime Recipients required to submit to ARPA-E?

Recipients are required to submit periodic, detailed reports on technical, financial, and other aspects of the project. Please refer to Attachment 4 to ARPA-E’s Model Cooperative Agreement (INSERT LINK) for guidance on ARPA-E’s reporting requirements.

Does ARPA-E require subject inventions to be substantially manufactured in the United States?

Yes. ARPA-E includes a domestic manufacturing (U.S. Competitiveness) clause in its funding agreements. Please refer to the Funding Opportunity Announcement for guidance on domestic manufacturing requirements.

Does ARPA-E require Prime Recipients and Sub-recipients to report their usage of subject inventions?

Yes. To ensure that Prime Recipients and Sub-recipients holding title to subject inventions are taking the appropriate steps to commercialize subject inventions, ARPA-E requires Recipients to submit annual reports (throughout the project period and for 5 years after the end of the project period) on the utilization of subject inventions and efforts made by Recipients or their licensees or assignees to stimulate such utilization. The reports must information regarding the status of development, date of first commercial sale or use, gross royalties received by the Recipient, and such other data and information as ARPA-E may specify.

What rights does the Government acquire in subject inventions?

The U.S. Government enjoys a royalty-free, nonexclusive license to practice, or have practiced on behalf of the United States, subject inventions for Government purposes (including use by Government contractors). In addition, the U.S. Government retains “march-in rights” in subject inventions. Please refer to the Funding Opportunity Announcement for guidance on the Government purpose license and march-in rights.

What is an “other transactions” agreement or Technology Investment Agreement?

ARPA-E may use its “other transactions authority” under the America COMPETES Reauthorization Act of 2010 to enter into “other transactions” agreements with Prime Recipients. Alternatively, ARPA-E may use DOE’s “other transactions authority” under the Energy Policy Act of 2005 to enter into Technology Investment Agreements with Prime Recipients. Through an “other transactions” agreement or Technology Investment Agreement, ARPA-E may modify standard Government terms and conditions, including but not limited to accounting provisions or intellectual property provisions.

What is a FOA?

Funding Opportunity Announcement.

What is cost share?

The Prime Recipient share of the Total Project Cost.

What is Total Project Cost?

The sum of the Prime Recipient share and the Federal Government share of total allowable costs. The Federal Government share generally includes costs incurred by FFRDCs and GOGOs.

What is a FFRDC?

Federally Funded Research and Development Center.

What is a GOGO?

U.S. Government-Owned Government-Operated laboratory.

What is a Project Team?

The term “Project Team” is used to mean any entity with multiple players working collaboratively and could encompass anything from an existing organization to an ad hoc teaming arrangement. A Project Team consists of the Prime Recipient, Sub-recipients, and others performing or otherwise supporting work under an ARPA-E funding agreement.

What is a Prime Recipient?

The signatory to the funding agreement with ARPA-E.

What is a Sub-recipient?

A signatory to a sub-award with the Prime Recipient.

What is a Standalone Applicant?

An Applicant that applies for funding on its own, not as part of a Project Team.

What is a subject invention?

Any invention conceived or first actually reduced to practice under an ARPA-E funding agreement.

What is DOE/NNSA?

U.S. Department of Energy/National Nuclear Security Administration.

What is a Reply to Reviewer Comments?

Written feedback on Full Applications is made available to Applicants before the submission deadline for Replies to Reviewer Comments. Applicants have a brief opportunity to prepare and submit a short response to one or more Reviewer comments or to supplement their Full Applications.

There are no ARPA-E Funding Opportunity Announcements (FOAs) at this time.

ARPA-E does not accept unsolicited proposals. Instead, ARPA-E broadly solicits energy-related research proposals using periodic Open Funding Opportunity Announcements (Open FOAs). Open FOAs are generally issued every two to three years. To receive announcements about ARPA-E’s new Open FOAs and other program-specific FOAs, please join our newsletter mailing list. Please do not contact ARPA-E about unsolicited proposals.

May U.S. Companies owned, in whole or in part, by foreign entities apply for/receive ARPA-E awards?

Yes, in general, subject to: 1) the requirement that all work under the award is conducted in the United States - subject to a partial waiver application process (rarely submitted, and more rarely granted); 2) United States manufacturing requirements for subject inventions resulting from research conducted under the award; and 3) export control and ITAR regulations, as applicable, for the research conducted under the award; and 4) other eligibility requirements that vary from FOA to FOA. Thus, potential applicants should refer to the FOA to which they are applying for specific eligibility requirements.

How can my project team make changes to our cost sharing contributions?

All cost share contributions should be included in the budget justification for your project team’s ARPA-E award. Every cost share contribution, including any changes to cost share contributions (e.g., modifying the amount, type, or source of cost share), must be approved in advance by the Contracting Officer and incorporated into the project budget before the expenditures are incurred. If your project team would like to make changes to how cost share is to be provided, please contact the ARPA-E Contracting Officer assigned to your award. Recipients must receive written authorization from the Contracting Officer for any changes to cost share contributions.

I have developed a technology that may be a good fit for this funding opportunity. Will ARPA-E please review my idea and let me know if it is responsive to this FOA?

ARPA-E will consider concepts that propose to meet or exceed the technical performance targets set forth in Section I.E (Technical Performance Targets) of the FOA and do not fall under Section I.F (Applications Specifically Not of Interest) of the FOA. Applicants must review the technical requirements of the FOA and independently determine whether their proposed concept warrants a submission.

Are foreign entities eligible to apply to this FOA?

Foreign entities are eligible to apply for funding. See Section III.A.3 (Eligibility Information- Foreign Entities) of the FOA. However, if the project is selected for award negotiations and an award is made, all work must be performed in the United States by subsidiaries or affiliates incorporated in the United States or U.S. territories, unless ARPA-E grants a foreign work waiver to allow performance of part of the work outside of the United States. ARPA-E’s grant of a foreign work waiver is a fact dependent, case-by-case determination that is made only in exceptional circumstances and only for discrete parts of an award that necessitate foreign work. Applicants that anticipate the need for a foreign work waiver to perform some work outside of the U.S. should review Section 5 of the Business Assurances & Disclosures Form.

Are individuals eligible to apply to this FOA?

Yes. Individuals are eligible to apply for funding. See Section III.A (Eligibility Information) of the FOA. However, any ARPA-E award funding would need to be made to a business entity formed by the Applicant, if selected for award negotiations

Are we required to register for the Teaming List for this FOA?

No. ARPA-E set up the Teaming Partner List for this FOA to facilitate formation of new project teams. There is no requirement for applicants or any team member to sign up/register for the Teaming Partner List. In addition, ARPA-E does not endorse or otherwise evaluate the qualifications of the entities that self-identify themselves for placement on the Teaming Partner List.

I missed the last Concept Paper deadline. Can I still submit a Full Application?

No. Only applicants who have successfully submitted a Concept Paper in eXCHANGE by the published deadline are eligible to submit a Full Application to the FOA.

Our project team includes several team members. Does each team member need to contribute cost share equally?

Although the cost share requirement applies to the Project Team as a whole, the funding agreement makes the Prime Recipient legally responsible for paying the entire cost share. See Section III.B.4 for more information on cost sharing. Each Project Team is free to determine how much each team member will contribute towards the cost share requirement. The amount contributed by individual Project Team members may vary, so long as the cost share requirement for the project as a whole is met.

Can you tell me whether my project team qualifies for reduced cost share?

Yes, if the in-kind contribution is determined to be allowable, allocable and reasonable by the ARPA-E Contracting Officer. Since this is necessarily fact determinative inquiry, these types of questions are answered based on a review of all relevant information by the Contracting Officer during award negotiations. For general guidance on acceptable cost share contributions and corresponding cost principles used by the ARPA-E Contracting Officer to make these determinations, see 10 C.F.R § 600.313 and § 600.317 (Cost Matching/Sharing and Cost Principles for For-Profit Organizations), 2 C.F.R. § 200.306 and 2 C.F.R. Part 200, Subpart E (Cost Matching/Sharing and Cost Principles for Institutes of Higher Education, Hospitals, Other Nonprofit Organizations, State and Local Governments).

We have a question concerning the impact of a large business seeking patent rights under a class waiver if our team qualifies for reduced cost share of 10%. Does this mean the entire team project is subject to 20% cost share or only the large business’ portion of the project will be subject to 20% cost share?

Per Section II.B.3 (Reduced Cost Share Requirement) of the FOA, under this scenario, only the large business’ portion of the work under this scenario is subject to the 20% minimum cost share requirement. Please see Section III.B.3 (Reduced Cost Share Requirement), Section III.B.4 (Legal Responsibility), and Section III.B.5 (Cost Share Allocation) of the FOA for more details on the cost sharing requirements. NOTE: If the large business' portion of Total Project Costs is greater than 20%, then the project team's total cost share minimum is 20% since the team as a whole would no longer qualify for the 80/20 labor distribution for reduced cost share, per Section III.B.3 of the FOA.

Can you tell us whether our project team qualifies for reduced cost share based on the following scenario: [ ]?

How should we include references in our Full Application? Do they count towards the overall page limitation for the Technical Volume?

Applicants may provide a list of references in a separate bibliography. Only bibliographic information may be contained in the references, and no additional text or commentary should be included. There is no page limit for the bibliographic references section of the Full Application.

Our team originally submitted a Concept Paper that listed [organization name 1] as the Prime Recipient. For our Full Application, can we change the lead organization to **** [organization name 2] instead?

Yes, the ARPA-E eXCHANGE system will allow applicants to expand or otherwise modify the Project Team for their Full Applications.

Can I include new Co-PIs and/or subrecipients in my Full Application?

Yes. Applicants may expand or otherwise modify the Project Team for their Full Applications.

My Concept Paper was encouraged. What are my chances of being selected for award negotiations by ARPA-E?

ARPA-E does not provide pre-submission assessments of Applicants’ likelihood to receive funding.

Do subrecipients also need to fill out the Business Assurances & Disclosures Form or is this filled out only by the Prime Recipient?

The Business Assurances & Disclosures Form requests information regarding the legal entity submitting the application as the Prime Recipient, the legal entities and/or individuals that are proposed to be Subrecipients, and the PI/Co-PIs in their individual capacity. The Prime Recipient may submit one Business Assurances & Disclosures Form covering all of the Project Team members if it has authorization and information to answer on their behalf. Alternatively, the Prime Recipient may request Subrecipients to complete and sign individual Business Assurances & Disclosures Forms that the Prime Recipient will append to its form.